commodity exchange act section 22

Transferred § 5. . 165, 269 U.S. 475, 70 L.Ed. 5 See Sections 712, 721 and 761 of the Dodd-Frank Act. Section 5b(h) of the Commodity Exchange Act permits the CFTC to exempt a non-U.S. clearing organization from registration for clearing swaps if the CFTC determines that the clearing organization is subject to comparable, comprehensive supervision and regulation by its home country authorities. 7 See Determination of Foreign Exchange Swaps and Foreign Exchange Forwards under the Commodity Exchange Act, 76 FR 25774 (May 5, 2011) (“Notice”). Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and Section 40.6(d) . 6 See Section 1a(47)(E) of the Commodity Exchange Act, as amended by the Dodd-Frank Act. (8) F To reauthorize and amend the Commodity Exchange Act to promote legal certainty, enhance competition, and reduce systemic risk in markets for futures and over-the-counter derivatives, and for other purposes. Commodity Exchange Act: Key Decisions from 2018 and Enforcement Trends to Monitor in 2019 2018 was an interesting year for market participants subject to the Commodity Exchange Act (the “CEA”), with federal appellate courts issuing three noteworthy decisions involving claims … Nadex Temporarily Amends Binary Contracts Strike Width . … 101. . § 2 (West Supp. See. Since the CEA sections do not always correspond numerically to the U.S. Code sections, we have provided a chart, which lists the sections of the CEA and their corresponding sections in the United States Code. (4) "Commodity Exchange Act" means the federal statute of that name. (18)(A)(iii), is title I of act Aug. 22, 1940, ch. The Commodity Exchange Act (CEA) is codified at 7 USC 1, et seq. § 22.13: Additions to Cleared Swaps Customer Collateral. SUMMARY: The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing this interpretative statement to provide guidance regarding the applicability of the confidentiality and indemnification provisions set forth in new section 21(d) of the Commodity Exchange Act (“CEA”) added by section 728 of … 21 Section 17 of the Commodity Exchange Act (7 U.S.C. 1175, 1175-77 (1978) [hereinafter cited as Clark]; 1974 House Report, supra note 6, at 129." 22-08. 0. . 22 Section 17 of the Commodity Exchange Act (7 U.S.C. INTRODUCTION On April 23, 2021, NYSE Arca, Inc. (“NYSE Arca” or “Exchange”) filed with the Securities and Exchange Commission (“Commission”), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Exchange Act”)1 and Rule 19b-4 thereunder,2 a proposed rule “prudential regulator” is defined in Section 1(a)(39) of the Commodity Exchange Act (7 U.S.C. Nadex Temporarily Amends Binary Contracts Strike Width . ), with respect to the activities of the commodity pool operator that require the commodity pool operator to be registered under that Act, or a commodity pool, as defined in that Act; 22 SEC. Nadex Temporarily Amends Binary Contracts Strike Width . 1(a)(39)) and that definition is incorporated by reference in Section 3(a)(74) of the Exchange Act. § 22.14: Futures Commission Merchant failure to meet a Cleared Swaps Customer Margin Call in full. . 789, which is classified generally to subchapter I (§ 80a–1 et seq.) 78c(a)), as amended by section 101, is further 1 et seq. 2021 / EXCHANGE 1426.102921 . In the Matter of: Kunal Bansal, Vinit Agarwal, Aralia Securities Ltd., and . For instance, Section 3 of the CEA is codified at 7 USC 5. 1376 (2010). 7 U.S. Code § 25 - Private rights of action. . Proposal to exempt certain credit default options. The Investment Company Act of 1940, referred to in par. § 1a); and (J) any company engaged in activities that are financial in nature or incidental to a financial activity, as described in section 4 of the Bank Holding Company Act of 1956 (12 U.S.C. The Commodity Futures Trading Commission (“CFTC” or “Commission”) is issuing an order to exempt Federal Reserve Banks that provide customer accounts and other services to registered derivatives clearing organizations that are designated financial market utilities from Sections 4d and 22 of the Commodity Exchange Act (“CEA”). SECTION § 1.70 - Notification of State enforcement actions brought under the Commodity Exchange Act. L. 111-203, 124 Stat. Section 8a(2) (C) and (E) The provisions of sections 8a(2)-8a(4) of the Commodity Exchange Act (“Act”) establish a system of statutory disqualifications pursuant to which the Commission may find an applicant or registrant unfit for registration and vest the Commission with wide discretion to deny, condition, suspend, restrict or revoke the registration of any person subject to one or … of chapter 2D of Title 15, Commerce and Trade. 712. REVIEW OF REGULATORY AUTHORITY. Passed in 1936, it has been amended several times since then. See Section 802 of the Dodd-Frank Act. (Section 6(c) of the Commodity Exchange Act) For any person other than a registered entity2 Non-Manipulation or Attempted Manipulation $170,129 1.06222 $180,714 For any person other than a registered entity2 Manipulation or Attempted Manipulation $1,227,202 1.06222 $1,303,559 7 U.S.C. 365. Bitfxprofit, Respondent. § 4.22 Reporting to pool participants. ogy and Genetics of a "Contract of Sale of a Commodity For Future Delivery" in the Com-modity Exchange Act, 27 EMORY L. REv. 78c(a)(1)]); (C) does not— 06/04/2007. For complete classification of this Act to the Code, see section 1 of Title 7 and Tables. Section 803(8)(A) of the Dodd-Frank Act, Pub. . L. 106-554, §1(a)(5) [title I, §125], Dec. 21, 2000, 114 Stat. 369, 42 Stat. 1 Be it enacted by the Senate and House of Representa-2 tives of the United States of America in Congress assembled, 3 SECTION 1. ... 22 SEC. The Securities Exchange Act of 1934, referred to in pars. Section 22(e)(1) of the 1940 Act provides that a registered investment company may not suspend the right of redemption or postpone the date of payment or satisfaction upon redemption of any redeemable securities in accordance with its terms for more than seven days except for any period during which the New York Stock Exchange (“NYSE”) is closed other than customary … 11 See Section 1a(24) of the Commodity Exchange Act, as amended by the Dodd-Frank Act. Appendix to Notice of Proposed Order and Request for Comment on a Proposal To Exempt, Pursuant to the Authority in Section 4(c) of the Commodity Exchange Act, the Federal Reserve Banks From Sections 4d and 22 of the Commodity Exchange Act—Commission Voting Summary; Footnotes SECTION 6(c) AND (d) OF THE COMMODITY EXCHANGE ACT, MAKING FINDINGS, AND IMPOSING REMEDIAL … As a result, Dodd-Frank subjected electricity market transactions—which traditionally occur under the oversight of the … 2. This chapter shall apply to and the Commission shall have jurisdiction with respect to accounts, agreements, and transactions involving, and may permit the listing for trading pursuant to section 7a–2(c) of this title of, a put, call, or other option on 1 or more securities (as defined in section 77b(a)(1) of title 15 or section 3(a)(10) of the Securities Exchange Act of 1934 [15 U.S.C. § 22.11: Information to be provided regarding Cleared Swaps Customers and their Cleared Swaps. 26) (referred to in this section as 19 ‘‘non-awards expenses’’). 712. REVIEW OF REGULATORY AUTHORITY. Pursuant to Section 17(j) of the Commodity Exchange Act ("CEA"), as amended, National Futures Association (“NFA”) hereby submits to the Commodity Futures Trading Commission (“CFTC” or “Commission”) the proposed amendments to NFA Compliance Rule 2-7 regarding NFA's Branch Office Manager Examination requirement. ACTION: Proposed interpretative statement. INTRODUCTION The Commodity Futures Trading Commission (“Commission”) has reason to believe that Action Taken. 22 21), as amended by sections 101 and 102 of this Act, is 23 amended by adding at the end the following: 24 ‘‘(v) A futures commission merchant that has ad-25 justed net capital in an amount less than the amount re- (i) "Contract Market" - means an exchange designated by the Commission as a contract market in one or more commodities. of Title 7, Agriculture. §27a. 20 dealer within the meaning of section 1a(4) 21 of the Commodity Exchange Act; and 22 ‘‘(ii) no more than 10 percent of the 23 gross revenues of the representative are de-24 rived from the security-based swap dealer. ACTION: Notice. 13a (Section 6b of the Commodity Exchange Act) For a registered For complete classification of this Act to the Code, see section 80a–51 of Title 15 and Tables. 21 (b) SECURITIES EXCHANGE ACT DEFINITIONS.— 22 Section 3(a) of the Securities Exchange Act of 1934 (15 23 U.S.C. 4 (c) Action. COMMODITY FUTURES TRADING COMMISSION . See Dodd-Frank Act Section 761(a)(2) (inserting “security-based swap” in the definition of “security” in SEA Section 3(a)(10)). § 4.22 Reporting to pool participants. View notice 23 21) (as amended by section 102) is amended by adding 24 at the end the following: 7 WEI16206 S.L.C. CFTC. Learn more about the eCFR, its status, and the editorial process. 2021 / EXCHANGE 1365.070221 . . 2021 / EXCHANGE 1426.102921 . (5) "Commodity futures trading commission" means the independent regulatory agency established by congress to administer the Commodity Exchange Act. Circuit has applied Morrison’s presumption against extraterritoriality and “transaction test” applied to the CEA Section 22, which grants plaintiffs a private right of action for certain violations of the CEA. of CEA section 22, which grants plaintiffs a private right of action, 7 and that courts should adopt the “sufficiently domestic” analysis from Parkcentral Global Hub Ltd. v. Learn more about the eCFR, its status, and the editorial process. Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and Section 40.6(d) . Effective Date of 1936 Amendment The Commodity Futures Trading Commission — may allow a person to continue operating subject to section 2 (h) of the Commodity Exchange Act ( 7 U.S.C. 2 (h)) (as in effect on the day before the date of enactment of this Act) for not longer than a 1-year period. “ (3) Agricultural swaps.— “ (A) In general.— New York Stock Exchange (“NYSE”) is closed other than customary week-end and holiday closings, or during which trading on the NYSE is restricted. Section 22, the court explained, allows private claims in only four circumstances, each of which is focused on transactions in the commodities markets. 01/22/1993. SECTION § 1.71 - Conflicts of interest policies and procedures by futures commission merchants and introducing brokers. DEFINITIONS. 78o(b)] (except paragraph (11) thereof); (B) performs the functions commonly performed by an exchange (as defined in section 3(a)(1) of the Securities Exchange Act of 1934 [15 U.S.C. 2021 / EXCHANGE 1357.061821 . Commodity Exchange Act & Regulations The Commodity Exchange Act (CEA) regulates the trading of commodity futures in the United States. Passed in 1936, it has been amended several times since then. The CEA establishes the statutory framework under which the CFTC operates. Commodity Exchange Act, also known as An Act to Amend the Grain Futures Act to Prevent and Remove Obstructions and Burdens Upon Interstate Commerce in Grains and Other Commodities by Regulating Transactions Therein on Commodity Futures Exchanges, to Limit or Abolish Short Selling, to Curb Manipulation, and for Other Purposes; Public Law 74-675, 74th Congress, H.R. COMMODITY FUTURES TRADING COMMISSION . 686, 54 Stat. Section 6(e) of ... not a commodity pool for purposes of the Commodity Exchange Act, as amended.7 The Sponsor of the Fund is Franklin Holdings, LLC, a Delaware limited liability ... 22 See Securities Exchange Act Release Nos. Qualified Eligible Participant (QEP) rule 4.7 of the Commodity Exchange Act. 3. In the Matter of . Nadex Temporarily Amends Binary Contracts Strike Width . 20 (b) TRANSFERS FROM FUND INTO ACCOUNT.— 21 (1) IN GENERAL.—Notwithstanding any other 22 provision of law, the Commission shall transfer up to 23 $10,000,000 from the Commodity Futures Trading In August 2019, the Second Circuit ruled in Prime International Trading, Ltd. v BP P.L.C. Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce §§ 2a to 4a. Q:\COMP\COMEX\Commodity Exchange Act.xml COMMODITY EXCHANGE ACT (A) is registered as a broker or dealer pursuant to sec-tion 15(b) of the Securities Exchange Act of 1934 (except paragraph (11) thereof); (B) performs the functions commonly performed by an exchange (as defined in section 3(a)(1) of the Securities Ex-change Act of 1934); 78c(a)), as amended by section 101, is further View notice 17 carrying out section 23 of the Commodity Exchange 18 Act (7 U.S.C. (Commodity-Based Trust Shares) I. 19 meanings given the terms in section 1a of the Commodity 20 Exchange Act (7 U.S.C. "(a) The Commodity Futures Trading Commission (in this section referred to as the 'Commission') shall undertake and complete a study of the Commodity Exchange Act [7 U.S.C. Start Preamble AGENCY: Commodity Futures Trading Commission. to section 2(h)(7)(C)(iii) of the Commodity Exchange Act and implementing regulations; or • an affiliate of an entity that is not a financial entity that qualifies for the exemption from clearing pursuant to section 2(h)(7)(D) of the Commodity Exchange Act or section 3C(g)(4) of the Securities Exchange Act and implementing regulations. Requirements of Secretary of the Treasury regarding exemption of foreign exchange swaps and foreign exchange forwards from definition of the term “swap” § 2. View notice In order to facilitate greater reform in energy markets, Dodd-Frank granted the CFTC wide-ranging powers as part of the greater mandate given to the CFTC in relation to OTC-swaps and the daily derivatives trading activity in commodities futures and options markets. Section 22 of the Commodity Exchange Act is Congress' at-tempt to provide futures investors with a clearly-defined private right of action against futures exchanges and other futures profes-sionals. (ii) any commodity pool operator registered with the Commodity Futures Trading Commission under the Commodity Exchange Act (7 U.S.C. 80 Thursday, No. 21-22. § 22.12: Information to be maintained regarding Cleared Swaps Customer Collateral. Action Taken. . (ii) A commodity pool, as defined in section 1 a( 10) of the Commodity Exchange Act (7 U.S.C. 10 Under Title VIII of the Dodd-Frank Act, the Board of Governors has the authority to enhance the regulation and supervision of systemically important financial market entities. 78c(a) 19 is amended by inserting ‘‘including a digital asset security, 20 but not digital assets,’’ after ‘‘security’’. 78c(a) 19 is amended by inserting ‘‘including a digital asset security, 20 but not digital assets,’’ after ‘‘security’’. View notice View notice 2021 / EXCHANGE 1432.111121 . So-called "Short Title" links, and links to particular sections of the Code, will lead you to a textual roadmap (the section notes) describing how the particular law was incorporated into the Code. 23 … 4. INTRODUCTION On April 9, 2021, Cboe BZX Exchange, Inc. (“BZX” or “Exchange”) filed with the Securities and Exchange Commission (“Commission”), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Exchange Act”)1 2and Rule 19b-4 thereunder, a proposed rule . The Commodity Exchange Act of 1936 requires hedge fund managers to register as commodity pool operators (CPO) if their funds trade any commodity futures, contracts, or options. Section 17 of the Commodity Exchange Act (7 U S.C. 21) is amended by adding at the end the following: ' '(s) A registered futures association shall— "(I) require each member of the association that is a futures commission merchant to maintain (569704 45) 7 U.S.C.A. Exclusion of identified banking product (a) Exclusion. 2021 / EXCHANGE 1432.111121 . 14.11(e)(4), Commodity-Based Trust Shares I. Amendments. NFA Financial Requirements Section 4 adopts by reference CFTC Regulations 1.20, 1.22, 22.2 and 30.7. § 1b. SUMMARY: Section 723 of the Dodd-Frank Wall Street Reform and Consumer Protection Act permits persons transacting business in exempt commodities in reliance upon Section 2(h) of the Commodity Exchange Act to petition the Commission for grandfather relief enabling them … SHORT TITLE. 23 (a) CONSULTATION.— Vintage Bullion DMCC, Respondents. )))) 1a), including any modification 21 of the meanings under section 721(b) of this Act. . shall not apply to, and the Commodity Futures Trading Commission shall not exercise regulatory authority under the Commodity Exchange Act (7 U.S.C. 2 A commodity option confers upon the holder the right, but not the obligation, to buy Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and section §40.2(a) of the regulations promulgated by the Commodity Futures Trading Commission (the “Commission”) under the Act (the “Regulations”), North American Derivatives Exchange, Inc. (“Nadex”, the “Exchange”) submitted to the Commission on December 22, 2021 … 1 et seq.) 2021 / EXCHANGE 1450.112621 . View notice 19 meanings given the terms in section 1a of the Commodity 20 Exchange Act (7 U.S.C. Finally, acts may be referred to by a different name, or may have been renamed, the links will take you to the appropriate listing in the table. (1) The prohibition in section 2 of this act does not apply to the following: (a) An account, agreement, or transaction within the exclusive jurk-diction of the commodity futures trading commission as granted under the commodity exchange act; (b) A commodity contract for the purchase of one or more precious 22-09 ) Respondent. ) 1 et seq.] Chapter I COMMODITY FUTURES TRADING COMMISSION Part 1 GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT CONTENT CFR-2010-title17-vol1-sec1-22 27 Section 1.22 section 1.22 47 FR 57007, Dec. 22, 1982 Customers' Money, Securities, and Property false . with respect to, an identified banking product; and (h) "Commodity Trading Advisor" or "CTA" - means a commodity trading advisor as that term is used in the Commodity Exchange Act, and that is required to be registered as such under the Commodity Exchange Act and Commission Rules. The Commodity Exchange Act (CEA) regulates the trading of commodity futures in the United States. To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to modify provisions relating to whistleblower incentives and protection, and for other purposes. (5)(B) and (6)(B)(i), is act Sept. 21, 1922, ch. la(10)); (iii) Any issuer, as defined in section 2(a)(22) of the Investment Company Act of 1940 By requiring that plaintiffs plead domestic illegal conduct, Prime International’s holding will severely limit plaintiffs’ ability to … . 1936-Act June 15, 1936, substituted "Commodity Exchange Act" for "The Grain Futures Act". From Certain Provisions of the Commodity Exchange Act Pursuant to the Authority Provided in Section 4(c)(6) of the Act, 29489-29522 [2015-12346] Download as PDF Vol. Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and Section 40.6(d) . . The term security-based swap as used in section 3(a)(68) of the Securities Exchange Act of 1934 (15 U.S.C. COMPLAINT AND NOTICE OF HEARING PURSUANT TO SECTION 6(d) OF THE COMMODITY EXCHANGE ACT The Commodity Futures Trading Commission (“Commission”) has received (a) Pursuant to the provisions of Section 19(b)(1) of the Securities Exchange Act of 1934, as amended (the “Act”)1 and Rule 19b-4 thereunder,2 NYSE Arca, Inc. (the “Exchange” or “NYSE Arca”) proposes to list and trade shares of the Franklin Responsibly Sourced Gold ETF under NYSE Arca Rule 8.201-E. CFTC Docket No. _____) ORDER INSTITUTING PROCEEDINGS PURSUANT TO SECTION 6(c) AND (d) OF THE COMMODITY EXCHANGE ACT, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS I. 1 et seq.) 22 23 commodity pool operator (as defined in section 1a of the Commodity Exchange Act) (7 U.S.C. Except as provided in subsection (b) or (c)-(1) the Commodity Exchange Act (7 U.S.C. 1a), including any modification 21 of the meanings under section 721(b) of this Act. Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and Section 40.6(d) . For purposes of Rule 0180 and this Notice , “security-based swap” has the same meaning as defined in SEA Section 3(a)(68) and the rules and guidance of the SEC or its staff. NEW SECTION. 2 REQUIREMENT.—The requirements in section 3 2(h)(7)(D)(i) of the Commodity Exchange Act and section 4 3C(g)(4)(A) of the Securities Exchange Act of 1934, as 5 amended by subsection (a), requiring that a credit support 6 measure or other mechanism be utilized if the transfer of 7 commercial risk referred to in such sections is addressed . 1979). ORDER INSTITUTING PROCEEDINGS PURSUANT TO . Nadex Temporarily Amends Binary Contracts Strike Width . . la(10)); (iii) Any issuer, as defined in section 2(a)(22) of the Investment Company Act of 1940 Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and Section 40.6(d) . 1 et seq.] The Commodity Exchange Act (CEA) is codified at 7 USC 1, et seq. Since the CEA sections do not always correspond numerically to the U.S. Code sections, we have provided a chart, which lists the sections of the CEA and their corresponding sections in the United States Code. Section 3 of that act was found unconstitutional as imposing a penalty in Trusler v. Crooks, Mo. (a) Pursuant to the provisions of Section 19(b)(1) of the Securities Exchange Act of 1934, as amended (the “Act”)1 and Rule 19b-4 thereunder,2 NYSE Arca, Inc. (the “Exchange” or “NYSE Arca”) proposes to list and trade shares of the Franklin Responsibly Sourced Gold ETF under NYSE Arca Rule 8.201-E. (ii) A commodity pool, as defined in section 1 a( 10) of the Commodity Exchange Act (7 U.S.C. Notice of Proposed Order and Request for Comment on Proposal to Exempt, Pursuant to the Authority in Section 4(c) of the Commodity Exchange Act, the Federal Reserve Banks from Sections 4d and 22 of the Commodity Exchange Act, 81 FR 35337 (June 2, 2016). REPORT TO CONGRESS Pub. 18 the Securities Exchange Act of 1934 (15 U.S.C. Under this Act, the CFTC has authority to establish regulations that are published in title 17 of the Code of Federal Regulations. Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and Section 40.6(d) . 1 ‘‘(v) NOTIFICATION REQUIRED.—A futures commis-2 sion merchant that has adjusted net capital in an amount 2763, 2763A-411, provided that: "(a) The Commodity Futures Trading Commission (in this section referred to as the 'Commission') shall undertake and complete a study of the Commodity Exchange Act [ 7 U.S.C. Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and Section 40.6(d) . Section 22(e)(3) of the Act provides that redemptions may be suspended by a registered investment company for such other periods as the Commission may by order permit for In Letter 21-30, the DOD provided no-action relief (in response to a request from the Alternative Reference Rates Committee), in each case where the relevant change(s) occur pursuant to the ISDA IBOR Fallbacks Protocol, the … 1926, 46 S.Ct. The Commodity Exchange Act, referred to in pars. ))))) CFTC Docket No. CPOs must comply with the Act’s disclosure requirements as well as those of the Commodity Futures Trading Commission (CFTC). . 18 the Securities Exchange Act of 1934 (15 U.S.C. Act, enacted on April 5, 2012, added Section 6(e) to the Securities Act. It is not an official legal edition of the CFR. Has had an open account for at least six months with at least $250,000 for Securities & Futures trading. View notice View notice A US citizen who owns at least $2,000,000 of securities and other investments excluding their primary residence. Nadex Temporarily Amends Binary Contracts Strike Width . 21 (b) SECURITIES EXCHANGE ACT DEFINITIONS.— 22 Section 3(a) of the Securities Exchange Act of 1934 (15 23 U.S.C. Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and Section 40.6(d) . The CFTC Division of Data ("DOD") issued certain no-action relief relating to reporting requirements associated with LIBOR transition. Blockratize, Inc. d/b/a Polymarket.com ) CFTC Docket No. Nadex Temporarily Amends Binary Contracts Strike Width . § 22.15 that plaintiffs bringing a private action under the Commodity Exchange Act (CEA) must plead a domestic transaction and domestic violative conduct. 998, which is classified generally to chapter 1 (§1 et seq.) Commodity Exchange Act, as amended (the “CEA”), the Agreement and this Transaction are subject to individual negotiation by the parties and have not been executed or traded on a “trading facility” as defined in Section 1a(51) of the CEA. § 1843(k)). SECTION § 1.72 - Restrictions on customer clearing arrangements. 2021 / EXCHANGE 1373.072321 . (A) is registered as a broker or dealer pursuant to section 15(b) of the Securities Exchange Act of 1934 [15 U.S.C. a manipulation of the price of any such contract or swap or the price of the commodity underlying such contract or swap. Id. 22 SEC. The CEA establishes the statutory framework under which the CFTC operates. It is not an official legal edition of the CFR. 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